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Financial Compliance Specialist
2 months ago
Job Description
Job Description
Job Title: Financial Compliance Specialist
Job Description:
As a Financial Compliance Specialist, you will play a critical role in ensuring that our organization adheres to regulatory requirements, industry standards, and internal policies related to financial operations. You will collaborate with various departments to develop and implement compliance programs, monitor activities for adherence to guidelines, and provide guidance on compliance matters. Your expertise in financial regulations and risk management will be essential in safeguarding our organization's integrity and maintaining a strong compliance culture.
Roles and Responsibilities:
Regulatory Compliance:
Stay abreast of financial regulations, laws, and industry standards applicable to our organization (e.g., SEC, FINRA, FCPA).
Interpret and communicate regulatory requirements to stakeholders and ensure compliance across all business activities.
Assist in the development, implementation, and review of compliance policies, procedures, and controls.
Monitoring and Auditing:
Conduct periodic reviews and audits to assess compliance with regulatory requirements and internal policies.
Analyze data and financial transactions to detect potential compliance issues or irregularities.
Prepare reports and documentation for regulatory filings, audits, and examinations.
Risk Management:
Identify potential compliance risks and recommend measures to mitigate risks effectively.
Monitor changes in regulatory requirements and industry trends to assess their impact on compliance programs.
Collaborate with risk management teams to integrate compliance considerations into risk assessments and mitigation strategies.
Training and Education:
Develop and deliver training programs on compliance policies, regulations, and ethical standards for employees.
Provide guidance and support to staff regarding compliance-related inquiries and issues.
Promote awareness of compliance responsibilities and foster a culture of compliance within the organization.
Reporting and Documentation:
Maintain accurate records of compliance activities, issues identified, and corrective actions taken.
Prepare and submit regulatory reports and filings in a timely and accurate manner.
Support external audits and regulatory inspections by providing requested documentation and information.
Skills Required:
Bachelor's degree in Finance, Business Administration, Accounting, Law, or related field (Master's degree and/or relevant certifications such as CRCM, CAMS, CFE preferred).
Proven experience as a Compliance Specialist, Compliance Officer, or similar role in financial services or a regulated industry.
In-depth knowledge of financial regulations, compliance frameworks, and best practices (e.g., AML/KYC, Dodd-Frank, GDPR).
Strong analytical skills with the ability to interpret complex regulations and apply them to practical situations.
Excellent communication and interpersonal skills, with the ability to collaborate effectively with cross-functional teams.
Detail-oriented and organized, with the ability to manage multiple priorities and deadlines.
Proficiency in compliance management software, MS Office Suite, and regulatory reporting tools.
Compensation:
The compensation package for this role will be competitive and commensurate with experience and qualifications.
Benefits such as health insurance, retirement plans, and professional development opportunities may be included.
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